the necessary resources and experienced personnel in order to be able to supervise the operations of the delegated persons, and to formulate the policy in the delegation of other persons to operate a
strengthening clearing and settlement system to be able to accommodate any possible default risk, and (3) enhancement of stability in securities trading system by laying down measures to prevent or cut off
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
bank and responsible for regulating and licensing banks and other financial institutions. The Financial Institutions Business Act 2008 gives it broad authority to oversee bank corporate governance and
Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the
Sort by: Relevance Date (Newest) Date (Oldest) The SEC’s public hearing on the proposed measures to prevent the usage of digital asset as a tool in the commission of crime and to supervise digital asset
services to an indirect client (tiered participant) who is a juristic person, securities clearing houses and central securities depositories shall also supervise and monitor potential risks of these members
upward trend with 194,193 million baht worth of new securities issued during the year. Although it was inevitably affected by the September 11th incident in the U.S., the market was able to quickly recover
. The attendance list is shown on page 14. Policy and Implementation 1. Corporate Governance Policy Established upon the enactment of the SEC Act, the SEC has the duty to promote, develop and supervise